Program Documentation Reviews for Regulatory Compliance

Tailored Compliance Solutions

Ensure alignment with regulatory standards and industry best practices. Empower your firm with robust compliance documentation tailored to your unique needs. Our comprehensive services cover the creation and review of Code of Ethics, Policies & Procedures, and Written Supervisory Procedures (WSPs).

Oyster Consulting recognizes the paramount importance of practical and compliant regulatory compliance programs. Our expertise lies in crafting practical Written Supervisory Procedures (WSPs) and Policies & Procedures manuals tailored to your firm’s operations. These documents serve as indispensable roadmaps for your employees, promoting efficiency and regulatory adherence.

Ensure Compliance With Regulations

Let Oyster Consulting be your trusted partner in enhancing your compliance framework and safeguarding your firm’s integrity and reputation. Our program documentation services that help you meet compliance include:

• Initial assessment to identify regulatory compliance issues
• Drafting of Code of Ethics tailored to your firm’s culture and processes
• Review and update of Compliance Policies and Procedures to navigate regulatory obligations effectively
• Drafting, reviewing, and updating Written Supervisory Procedures (WSPs) to ensure regulations compliance and operational efficiency.

Regulatory Compliance Requirements

Navigating the complex regulatory landscape requires a deep understanding of legal requirements. Sections 204A and 204A-1 of the Advisers Act mandate the establishment of written policies and procedures and a Code of Ethics. Additionally, FINRA rules 3110, 3120, and 3130 provide a regulatory framework for supervising firms and their associated persons.

The Oyster Difference

Oyster will update your firm’s guidelines, and conduct a deep dive into your firm’s practices and procedures. We write Policies and Procedures, Codes of Ethics and Written Supervisory Procedures (WSPs). Your guides will match actual business practices and provide reasonable solutions based on your unique business model.  Our compliance experts work with your management team to create manuals tailored to your firm’s abilities.